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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2004-07-29 |
| CA | RA | APPROVED | 1997-07-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Modesto | CA | 08/1993 | Present |
| Bank Of America, Na | Modesto | CA | 09/2009 | Present |
I*2228298, Entity Type: Non-profit , Name of OBA: St. Lukes Family Practice, Address: Modesto, Ca. 95350 Investment Related: N, Position, Title, Association: Board Member, Employee State Date: March 6th, 2025, No Hours: 2 monthly , No Hours during Trading: 0 , Duties: Board of Directors role
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-01 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-04 |
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